Final Oral Examination (Defense of the Thesis)
Examining Committee
The completed thesis will be examined by a committee normally consisting of the supervisor, two members of the supervisory committee, a member of the full-time teaching faculty from outside the Department (the “internal/external”), and the external examiner (the “external/external”). At least one member from the University of Alberta must be “at arm’s length”, that is, should not have seen any drafts of the thesis (but may have served on the committee for the candidacy examination). The internal/external should be an experienced supervisor of graduate students and have some knowledge of the student’s research area. The external/external is to receive a copy of the thesis four weeks in advance of the examination and other committee members three weeks in advance. The examination is chaired by the Associate Chair (Graduate Studies) or his/her delegate appointed from within the Department; the chair does not vote but may participate in the discussion. The Department must submit a Notice and Approval of Doctoral Final Oral Examining Committee form to the Faculty of Graduate Studies and Research at least three weeks before the date of the final oral examination.
Attendance
There must be a minimum of five committee members in attendance at the examination (including members participating through teleconferencing); if an external reader is used, there still must be five members present. Faculty members of the Department as well as members of FGSR Council (or their alternates) have the right to attend doctoral examinations but should notify the chair of the examining committee. Other persons may attend the defense only with special permission of the Dean, FGSR, or the chair of the examining committee. Except for the Dean (or Associate Dean or Pro Dean), FGSR, who may participate fully in the examination, persons who are not members of the examining committee: (a) may participate in the questioning only by permission of the chair of the committee and (b) are not permitted to participate in the discussion of the student’s performance (they must withdraw before such discussion commences).
Format
The examination normally lasts approximately two hours. Before it starts, the candidate will be asked to leave the room while procedures are determined and explained. He/she returns and is asked to give a brief (five to ten minutes) introduction to the thesis. The committee members then ask questions one at a time in the agreed-upon order. Fifteen minutes are to be allotted to all members apart from the supervisor, who receives less time, and the externals, who receive twenty minutes each. Generally speaking, it is best if no one else asks questions during another committee member’s allotted time, although brief interventions are at times beneficial. The roster of members will be gone through twice (that is, each member will receive two opportunities to pose questions). All questions should pertain to the thesis, its methodology, and any other subjects pertinent to the defense of the thesis. Upon the end of the second round of questioning, the candidate is asked if he/she wishes to make any final comments. After this, the candidate withdraws to allow the committee to deliberate. Criteria for evaluation. Each examiner will give an opinion, first on the acceptability of the thesis and then on the acceptability of the defense. The decision of the examining committee will be based both on the content of the thesis and on the candidate’s ability to defend it.
Decision
Normally, if all but one member of the committee agree on a decision, the decision shall be that of the majority, except when the one dissenting vote is that of the external examiner. If this happens, it must be reported to the Associate Dean, FGSR, who will determine an appropriate course of action. If two or more dissenting votes are recorded, the Department will refer the matter to the Associate Dean, FGSR, who will determine an appropriate course of action. One of the following outcomes of the final oral examination is appropriate:
- Pass
- Pass subject to revisions. NOTE: There is no provision for a final oral examination to be “passed subject to major revisions.”
- Adjourned
- Fail
Pass: If the student passes the examination, the Department shall complete the Thesis Approval/Program Completion form and submit it to the FGSR. Pass subject to revisions: The student has satisfactorily defended the thesis but the revisions to the thesis are sufficiently minor that it will not require a reconvening of the examining committee. “Minor revisions” are taken to be those that do not substantially change the argument of the thesis (for example, the addition of a few paragraphs of “sign posting” or some details of limited significance).The Department shall complete the Thesis Approval/Program Completion form and submit it to the FGSR indicating “pass subject to revisions.” It is expected that the student will make the changes in time to submit the thesis to the FGSR on or before the deadline for the next convocation. These changes should be checked and approved by the committee chair or supervisor, who does not sign until the required changes are satisfactorily completed. Other committee members may also wish to withhold their signature until they can verify that their required revisions have been made to their satisfaction.
Adjourned: The final oral examination should be adjourned in the following situations:
- The revisions to the thesis are sufficiently substantial (if further research or experimentation and/or major reworking of sections are required, or if the committee is not satisfied with the general presentation of the thesis) that it will require a reconvening of the examining committee. The committee should not propose that the candidate has passed, rather the committee shall adjourn the examination.
- The committee is dissatisfied with the candidate’s oral presentation and defense of the thesis, even if the thesis itself is acceptable with or without minor revisions.
- Compelling, extraordinary circumstances such as a sudden medical emergency during the examination.
If the examination is adjourned (other than for compelling, extraordinary circumstances such as a sudden medical emergency during the examination) the committee should:
- Specify in writing to the student, with as much precision as possible, the nature of the deficiencies and, in the case of revisions to the thesis, the extent of the revisions required. Where the oral defense is unsatisfactory, it may be necessary to arrange some discussion periods with the candidate prior to reconvening the examination.
- Decide upon a date to reconvene. If the date of the reconvened oral examination depends upon the completion of a research task or a series of discussions, it should be made clear which committee members will decide on the appropriate date to reconvene. The final date set for reconvening shall be no later than six months from the date of the examination. A final decision of the examining committee must be made within six months of the initial examination.
- Make it clear to the student what will be required by way of approval before the examination is reconvened (eg, approval of the committee chair or supervisor, of the entire committee, or of select members of the committee).
- Specify the supervision and assistance the student may expect from the committee members in meeting the necessary revisions.
- Advise the FGSR in writing of the adjournment and the conditions (in the points above).
- When the date is set for the adjourned final oral examination, the Department will notify the FGSR. Normally the Dean, Associate Dean, or Pro Dean attends the examination.
Fail: If the final examination committee agrees that the student has failed, the committee chair shall provide the reasons for this recommendation and the Department’s decision for the student’s program in writing to the Associate Dean, FGSR, and to the student. For failed examinations, the Associate Dean, FGSR, will arrange to meet with the candidate and with Department representatives before acting upon any Department recommendation. A decision of the FGSR which affects the student’s academic standing (that is, he/she is required to withdraw or transfer to a master’s program) is appealable.